- Coinbase (Tallahassee, FL)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... to mitigate such risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg. * In depth knowledge of Swap … more
- JPMorgan Chase (Tampa, FL)
- …solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliatechannels. + Proactively contact ... broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities, and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... & Custody Services Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered Investment Advisor firms… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... Custody Services Division (RCS) serves as a clearing firm for independent broker -dealers and as a custodian for independent Registered Investment Advisor firms… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Guardian Life (Tallahassee, FL)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and interact effectively with clients in various roles at the RIA or broker dealer , including executive management. + Constructively work under stress and ... process, and business structure of independent registered investment advisors and introducing broker dealers. + Working knowledge of account types and experience in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations. **Skill in:** * Identifying the needs of customers ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ~or~ * ... - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms * Fund accounting… more